SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to

and understanding of business operation. The SEC took such suggestions into consideration in revising the proposed principles to enhance suitability. The SEC, therefore, issued two relevant

SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in

www.happypvd.com Training courses on the SEC Network for the public, SEC financial education caravan, exhibitions, surveys of the business sector. ✓ 1.2 Sources of personal data The SEC Office receives your personal

Securities of a Business Takeover b... https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201806/18056884.pdf _ _ Ocean Commerce Public Company Limited 148/1 Soi Ramintha 14, Ramintra Road

client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is https://publish.sec.or.th/nrs/6086pe.doc บท

agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person

supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person

private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person assigned by such

clearing and settlement, including in the case of default in securities clearing and settlement; (4) business continuity management, with measures that meet international standards in a bid to promote and